People v. Colon, 25 N.Y.3d 1004 (2015)

A trial court commits reversible error when it fails to disclose substantive jury notes to counsel and respond appropriately to those notes, especially when the notes concern evidence critical to the jury’s understanding of the case.

Summary

In People v. Colon, the New York Court of Appeals held that a trial court’s failure to inform counsel of jury notes requesting transcripts of recorded telephone calls, and to provide a substantive response, constituted reversible error. The defendant was charged with assault, and the prosecution introduced recordings of the defendant’s jail calls, some of which were in Spanish. The court provided the jury with transcripts of these calls but did not formally admit the transcripts into evidence, stating they were only to be used as an aid while listening to the recordings. During deliberations, the jury sent notes requesting to see the transcripts. The trial court failed to inform the attorneys of these notes or to respond to the jury’s request. The Court of Appeals reversed the conviction, finding this failure prejudicial because the transcripts aided comprehension of the evidence.

Facts

The defendant was charged with assault. The prosecution introduced recordings of jailhouse telephone calls made by the defendant, a portion of which were in Spanish. Transcripts of the calls, translated into English, were provided to the jury to help them understand the recordings. The trial court informed the jury on multiple occasions that the transcripts were not in evidence, but invited the jury to request them during deliberations if needed, and explained the procedure for doing so. During deliberations, the jury sent two notes to the court requesting to see the transcripts. The trial court did not inform either the prosecution or the defense counsel of the notes, nor did it respond to the jury’s request. The jury found the defendant guilty of assault in the second degree.

Procedural History

The defendant was convicted of assault in the second degree following a jury trial in the trial court. The Appellate Division affirmed the conviction. The New York Court of Appeals granted leave to appeal.

Issue(s)

1. Whether the trial court’s failure to inform counsel of the jury’s notes requesting the transcripts constituted reversible error.

Holding

1. Yes, because the jury notes required a substantive response that was not provided, and the trial court failed to inform counsel of the notes.

Court’s Reasoning

The Court of Appeals relied heavily on its prior decision in People v. Silva. The court emphasized that a trial court has a responsibility to handle jury notes properly, especially when they request information about the evidence. The notes in this case were considered substantive because they related to a key piece of evidence, particularly the translated transcripts that aided the jury’s comprehension of the recordings. The court cited the prior statement in People v. Silva that “substantive jury notes, marked as court exhibits, were neither revealed to the attorneys nor addressed by the court” and that this failure required reversal. The court reasoned that the jury’s request was not a mere request for something that was not in evidence, but a direct request for something that they had been expressly invited to seek during their deliberations, and that was critical to understanding the case.

The court also noted that because a significant portion of the conversations were in Spanish, the transcripts were necessary for the jury to understand the evidence. The court further held that the trial court’s procedural instructions to the jury, which specifically invited the jury to request the transcripts during deliberations, exacerbated the error. The failure to disclose the notes to counsel deprived the attorneys of the opportunity to participate in formulating an appropriate response, thus potentially prejudicing the defendant.

Practical Implications

This case underscores the critical importance of a trial court’s responsibility to inform counsel of any substantive jury notes and to provide a meaningful response, especially when the notes concern evidence vital to the jury’s understanding of the case. Attorneys should be vigilant in ensuring that the trial court adheres to this procedure, and should object if the court fails to disclose or adequately respond to jury requests. This case also highlights that even if evidence is not formally admitted, it may still be considered by the jury if the court has explicitly directed the jury to use it for a specific purpose, meaning that the court must take care to respond properly to any jury request for that evidence. This ruling applies to all jurisdictions in New York, including state and county courts.

Later cases in New York and other jurisdictions cite People v. Colon for the principle that a trial court’s failure to disclose substantive jury notes is reversible error, particularly if the notes pertain to critical evidence. Cases that have distinguished Colon have done so on the basis that the notes were not substantive or that any error was harmless.